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e-CFR data is current as of October 23, 2020

Amendment


17 CFR--PART 1

View Printed Federal Register page 85 FR 57543 in PDF format.

Amendment(s) published September 15, 2020, in 85 FR 57543

Effective Dates: Nov. 16, 2020

4. Amend §1.16 by revising paragraphs (f)(1)(i)(B) and (f)(1)(ii)(B) to read as follows:

§1.16   Qualifications and reports of accountants.

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(f)(1) *  *  *

(i) *  *  *

(B) A futures commission merchant that is registered with the Securities and Exchange Commission as a securities broker or dealer may file with its designated self-regulatory organization a copy of any application that the registrant has filed with its designated examining authority, pursuant to §240.17a-5(m) of this title, for an extension of time to file annual reports. The registrant must also promptly file with the designated self-regulatory organization and the Commission copies of any notice it receives from its designated examining authority to approve or deny the requested extension of time. Upon receipt by the designated self-regulatory organization and the Commission of copies of any such notice of approval, the requested extension of time referenced in the notice shall be deemed approved under this paragraph (f)(1)(i).

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(ii) *  *  *

(B) An introducing broker that is registered with the Securities and Exchange Commission as a securities broker or dealer may file with the National Futures Association copies of any application that the registrant has filed with its designated examining authority, pursuant to §240.17a-5(m) of this title, for an extension of time to file annual reports. The registrant must also file promptly with the National Futures Association copies of any notice it receives from its designated examining authority to approve or deny the requested extension of time. Upon the receipt by the National Futures Association of a copy of any such notice of approval, the requested extension of time referenced in the notice shall be deemed approved under this paragraph (f)(1)(ii).

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